Engelberg Jeffrey D. 4

4 · EASTMAN KODAK CO · Filed Jan 12, 2021

Form 4

Period: 2020-09-30

Director

Transactions

Conversion
Common Stock, par value $.01
2020-09-30$3.17/sh+1,574,892$5,000,282→ 2,534,892 total(indirect: See footnote)
Conversion
5% Secured Convertible Notes
2020-09-30−1,574,892→ 0 total(indirect: See footnote)
Exercise: $3.17From: 2019-09-10→ Common Stock, par value $.01 (1,574,892 underlying)
Exercise/Conversion
Common Stock, par value $.01
2021-01-08+46,729→ 206,521 total
Exercise/Conversion
Restricted Stock Units
2021-01-08−46,729→ 0 total
Exercise: $0.00From: 2021-01-08Exp: 2021-01-08→ Common Stock, par value $.01 (46,729 underlying)

Holdings

Stock Option (Right to Buy)
Exercise: $4.53Exp: 2027-05-19→ Common Stock, par value $.01 (6,416 underlying)
6,416
Stock Option (Right to Buy)
Exercise: $6.03Exp: 2027-05-19→ Common Stock, par value $.01 (6,416 underlying)
6,416
Series A Covertible Preferred Stock
(indirect: See footnote)
Exercise: $17.40→ Common Stock, par value $.01 (574,710 underlying)
100,000
Stock Option (Right to Buy)
Exercise: $3.03Exp: 2027-05-19→ Common Stock, par value $.01 (21,081 underlying)
21,081
Stock Option (Right to Buy)
Exercise: $12.00Exp: 2027-05-19→ Common Stock, par value $.01 (3,666 underlying)
3,666

Footnotes (6)

[F1]These restricted stock units convert into common stock on a one-for-one basis.
[F2]On September 30, 2020, these 5% Secured Convertible Notes (the "Notes") converted into common stock at a rate of 314.9785 shares of common stock per each $1,000 of principal.
[F3]These securities are owned directly by C2W Partners Master Fund Limited. Mr. Engelberg is the managing member of Additive Advisory and Capital, LLC, which receives management fees from C2W Partners Master Fund Limited. Mr. Engelberg disclaims beneficial ownership of the securities held by C2W Partners Master Fund Limited and states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.
[F4]The Notes did not have an expiration date.
[F5]This option has fully vested as of the date of this report.
[F6]The convertible preferred stock is convertible at any time, at the holder's election, and has no expiration date.

Documents

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